2.15 Monitoring and Reporting WEM Procedures
2.15.1.
The Economic Regulation Authority must maintain and implement a monitoring protocol in a WEM Procedure.
The Economic Regulation Authority must maintain and implement a Monitoring Protocol in a WEM Procedure
Explantory Notes
- None
References of this Clause
- 2.13.1 - The Economic Regulation Authority must monitor other Rule Participants’ behaviour (including AEMO’s and each Network Operator’s behaviour) for compliance with the WEM Rules and WEM Procedures in accordance with the WEM Procedure referred to in clause 2.15.1.
- 2.13.3 - The Economic Regulation Authority must ensure it has processes and systems in place to allow it to monitor Rule Participants’ behaviour (including AEMO’s and each Network Operator’s behaviour) for compliance with the WEM Rules and WEM Procedures in accordance with the WEM Procedure referred to in clause 2.15.1.
- 2.13.25 - A notification of an alleged breach by a Rule Participant to the Economic Regulation Authority under clause 2.13.23 or clause 2.13.24 may be provided in the form described in clause 2.15.3, but must include the information a Rule Participant is required to provide in reporting an alleged breach as specified in the WEM Procedure referred to in clause 2.15.1.
- 2.13.33 - The Economic Regulation Authority may suspend or close an investigation of an alleged breach: ... (b) in any other circumstances that may be specified in the WEM Procedure referred to in clause 2.15.1.
- 2.15.2 - The purpose of the WEM Procedure specified in clause 2.15.1 is to state how the Economic Regulation Authority will implement its obligations under these WEM Rules to monitor, investigate and enforce Rule Participants’ behaviour for compliance with the WEM Rules and WEM Procedures.
- 2.15.3 - The WEM Procedure specified in clause 2.15.1 must specify: ... (a), (b), (c), (d), (e), (f), (g), (h), (i), (j), (k), (l), and (m)
2.15.2.
The purpose of the WEM Procedure specified in clause 2.15.1 is to state how the Economic Regulation Authority will implement its obligations under these WEM Rules to monitor, investigate and enforce Rule Participants’ behaviour for compliance with the WEM Rules and WEM Procedures.
The purpose of the Monitoring ProtocolWEM Procedure specified in clause 2.15.1 is to state how the Economic Regulation Authority will implement its obligations under these Market RulesWEM Rules to monitor Rule Participants’ behaviour for compliance with the Market Rules and Market Proceduresfor compliance with the WEM Rules and WEM Procedures.
Explantory Notes
Clause 2.15.2 is amended to also refer the ERA’s obligations to investigate and enforce compliance.
References of this Clause
- None
2.15.3.
The WEM Procedure specified in clause 2.15.1 must specify:
(a) the Economic Regulation Authority’s monitoring processes for assessing compliance with the WEM Rules and WEM Procedures by Rule Participants, which must include, where the Economic Regulation Authority is required to investigate under clause 2.13.27(b), or has decided under clause 2.13.27(c) to investigate, an alleged breach by a Rule Participant:
i. a requirement for notice to be given by the Economic Regulation Authority to that Rule Participant that identifies the alleged breach to be investigated by the Economic Regulation Authority; and
ii. a process through which the Rule Participant may make submissions to the Economic Regulation Authority to explain the alleged breach, prior to the Economic Regulation Authority reaching a decision on whether a Rule Participant has breached the WEM Rules or WEM Procedures;
(b) a process for Rule Participants to report alleged breaches of the WEM Rules or WEM Procedures under clause 2.13.15, 2.13.23 and 2.13.24 including the required information a Rule Participant must provide to the Economic Regulation Authority;
(c) the form that may be used by Rule Participants to report a breach, or suspected breach, of the WEM Rules or WEM Procedures by the Rule Participant to the Economic Regulation Authority in accordance with clause 2.15.3(b);
(d) the processes for the Economic Regulation Authority to assign a risk rating to each alleged breach, including the matters the Economic Regulation Authority will take into account, that will determine whether the alleged breach is required to be investigated by the Economic Regulation Authority;
(e) the processes for investigations of alleged breaches of the WEM Rules or WEM Procedures;
(f) the processes for suspending or closing investigations of alleged breaches of the WEM Rules or WEM Procedures under clause 2.13.36, including the matters the Economic Regulation Authority may take into account in making a decision;
(g) the processes and timeframes applying to a suspended investigation of an alleged breach of the WEM Rules or WEM Procedures, including the timeframes under which a suspended investigation may be resumed;
(h) guidelines for the Economic Regulation Authority when issuing warnings about alleged breaches of the WEM Rules or WEM Procedures to Rule Participants under clause 2.13.36(a);
(i) the process for bringing proceedings before the Electricity Review Board for an order to be made by the Electricity Review Board under the WEM Regulations;
(j) the processes to be followed by the Economic Regulation Authority, including the matters the Economic Regulation Authority may take into account and the circumstances it may have regard to, when deciding to:
i. issue an infringement notice under clause 2.13.36(b);
ii. issue a civil penalty notice under clause 2.13.36(c); or
iii. make an order under clause 2.13.36(d);
(k) the processes for keeping a public register of breaches under clause 2.13.49 and publishing the public register in accordance with clause 2.13.53;
(l) the processes it will require AEMO and the Network Operator to implement to assist the Economic Regulation Authority in monitoring and assessing Rule Participants’ compliance with the WEM Rules and WEM Procedures; and
(m) any other relevant matters under sections 2.13, 2.14 and 2.15.
Explantory Notes
Clause 2.15.3 is deleted and replaced with an amended version that is consolidated with existing clause 2.15.4 and requires the ERA to set out the processes with respect to assigning a risk rating to alleged breaches, for suspending or closing investigations, the matters the ERA is to take into account when considering whether to issue an infringement notice, civil penalty notice, or order, the process and information for a Rule Participant to report an alleged or suspected breach, the manner for AEMO to provide information requested and the processes with respect to keeping and publishing a public breach register.
References of this Clause
- None
2.15.4.
AEMO must develop a WEM Procedure to set out:
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how AEMO will carry out its obligations to monitor Rule Participants' behaviour for compliance under clause 2.13.7;
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how AEMO will monitor dispatch compliance before, during or after a Dispatch Instruction event;
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how AEMO will carry out its obligations to support the Economic Regulation Authority under clauses 2.13.4, 2.13.8 and 2.13.9;
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the notification and reporting processes that AEMO will use to notify the Economic Regulation Authority under clause 2.13.14 and 2.13.15;
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the situations where AEMO considers it does not need to notify the Economic Regulation Authority of an alleged breach under clause 2.13.14; and
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any other matters relevant to AEMO’s obligations in section 2.13.
Explantory Notes
Existing clauses 2.15.6A, 2.15.6B, 2.156C are deleted and replaced with a new clause 2.15.4 outlining the processes and procedures AEMO will undertake in carrying out its monitoring and compliance related obligations under the WEM Rules.
References of this Clause
- 2.13.15 - Except where clause 2.13.14 applies, where AEMO becomes aware of an alleged breach of the WEM Rules (other than a provision of the WEM Rules referred to in clause 2.13.7) or the WEM Procedures developed by AEMO then it must notify the Economic Regulation Authority in accordance with the WEM Procedure referred to in clause 2.15.4.